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FINANCIAL I••••••• INC, CRD 108797
TACOMA, WA
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.
| Advisor | Designations | Branch | Years here | In industry | Prior firms | Dual registered |
|---|---|---|---|---|---|---|
| D•••••• A••• L•••• | Certified Financial Planner | TACOMA, WA | 15 | 46 | 1 | no |
| A••••••••• A••• K••• | Certified Financial Planner | TACOMA, WA | 13 | 12 | n/a |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| K•••• A••••••••• A••• | CHIEF EXECUTIVE OFFICER & CHIEF COMPLIANCE OFFICER | E | yes | 01/2022 | Mar 25, 2014 | Mar 27, 2024 |
| L••••• D••••••• A••• | Founder | A | yes | 02/1981 | Mar 29, 2012 | Mar 27, 2024 |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| Joined, 12m | Left, 12m | Net, 12m | Departure rate, 12m | Joined, 90d | Left, 90d | Left, no destination yet | Joined, 36m | Left, 36m |
|---|---|---|---|---|---|---|---|---|
| 0 | 0 | 0 | 0.0% | 0 | 0 | 0 | 1 | 3 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $747M | $663M | 12.7% | $621M | 6.3% | 16 | 13 | 1 | 1 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| R•••••• F••••• W•••••• I••• | 2 | Sep 2, 2024 | Sep 5, 2024 | TACOMA, WA | Team lift out | RIA to new firm | 20.0% |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| N••• F•••••••• G••••• I••• | 2 | Sep 23, 2015 | Sep 21, 2015 | TACOMA, WA | Team lift out | Other | 0.5% |
| no |
| M•••••• W•••••• D••••• | n/a | TACOMA, WA | 11 | 42 | 2 | no |
| J••• J••••• W•••• | Certified Financial Planner | TACOMA, WA | 11 | 40 | 2 | no |
| D••••• J••••• M•••••••• | n/a | TACOMA, WA | 10 | 13 | n/a | no |
| A••••• M•••• B•••••• | Certified Financial Planner | TACOMA, WA | 7 | 15 | 2 | no |
| A••• H•• H•••••• | Certified Financial Planner | TACOMA, WA | 2 | 18 | 4 | no |
| J••••• F••• | n/a | TACOMA, WA | 2 | 19 | n/a | no |
| Mar 30, 2026 |
| $747M |
| $708M |
| 16 |
| 6 |
| 1 |
| n/a |
| n/a |
| 2024 | Apr 14, 2025 | $663M | $636M | 13 | 9 | 1 | n/a | n/a |
| 2023 | Mar 27, 2024 | $789M | $789M | 16 | 10 | 0 | n/a | n/a |
| 2022 | Mar 30, 2023 | $621M | $621M | 17 | 10 | 0 | n/a | n/a |
| 2021 | Mar 29, 2022 | $534M | $534M | 15 | 9 | 0 | n/a | n/a |
| 2020 | Mar 22, 2021 | $462M | $462M | 14 | 9 | 0 | n/a | n/a |
| 2019 | May 29, 2020 | $426M | $426M | 16 | 10 | 1 | n/a | n/a |
| 2018 | Mar 28, 2019 | $368M | $367M | 18 | 7 | 1 | n/a | n/a |
| 2017 | Mar 27, 2018 | $332M | $331M | 13 | 8 | 2 | n/a | n/a |
| 2016 | Mar 23, 2017 | $269M | $267M | 15 | 8 | n/a | n/a | n/a |
| 2015 | Mar 28, 2016 | $247M | $245M | 11 | 7 | n/a | n/a | n/a |
| 2014 | Mar 19, 2015 | $132M | $118M | 5 | 3 | n/a | n/a | n/a |
| 2013 | Mar 25, 2014 | $128M | $113M | 6 | 3 | n/a | n/a | n/a |
| 2012 | Mar 1, 2013 | $109M | $107M | 5 | 3 | n/a | n/a | n/a |
| 2011 | Mar 29, 2012 | $100M | $99.0M | n/a | n/a | n/a | n/a | n/a |